Mark K. Eckels

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CRD#: 1063834

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Mark Koughan Eckels was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 1982. Mark had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 6, 2021 - December 31, 2021

CONFLUENCE FINANCIAL PARTNERS

RIA

CRD#: 311980

Parrish, FL

Past

December 8, 2015 - July 7, 2021

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

McMurray, PA

Past

December 4, 2015 - July 7, 2021

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

McMurray, PA

Past

June 7, 2012 - December 7, 2015

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

CANONSBURG, PA

Past

January 1, 2008 - December 7, 2015

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

CANONSBURG, PA

Past

August 18, 1994 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

MCMURRAY, PA

Past

July 26, 1989 - August 19, 1994

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

December 21, 1982 - August 1, 1989

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

Past

September 24, 1982 - January 3, 1983

FINANCIAL ESTATE PLANNING, INC.

CRD#: 287

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CONFLUENCE FINANCIAL PARTNERS

CONFLUENCE FINANCIAL PARTNERS | CONFLUENCE WEALTH SERVICES, INC. | CONFLUENCE FINANCIAL PARTNERS, INC.

CRD#: 311980 / SEC#: 801-120711

RIA

Registered Investment Advisory firm - (4/5/2021 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/21/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/15/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 7/24/1986

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/18/1982

General Securities Representative Examination

Current Firm

CONFLUENCE FINANCIAL PARTNERS

CONFLUENCE FINANCIAL PARTNERS | CONFLUENCE WEALTH SERVICES, INC. | CONFLUENCE FINANCIAL PARTNERS, INC.

CRD#: 311980 / SEC#: 801-120711

RIA

Registered Investment Advisory firm - (4/5/2021 Approved)

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Contact information

Main Address

732 E Mcmurray Rd, Mcmurray, PA 15317

Mailing Address

Phone number

(724) 271-8801

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (36 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CONFLUENCE PART 2A DISCLOSURE (10/1/2025)

Regulatory assets under management

Total Number of Accounts	12,924
AUM (Assets Under Management)	$ 5,454,175,362

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Mark K. Eckels

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

GRUNTAL & CO., L.L.C.

THOMSON MCKINNON SECURITIES INC.

FINANCIAL ESTATE PLANNING, INC.

Primary Firm SEC Registration

CONFLUENCE FINANCIAL PARTNERS

State Registrations and Notice Filings

Exams

Series 65

Date: 12/21/2013

Series 63

Date: 10/15/1982

SIE

Date: 10/1/2018

Series 3

Date: 7/24/1986

Series 7

Date: 9/18/1982

Current Firm

CONFLUENCE FINANCIAL PARTNERS

Contact information

SEC notice filing (36 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CONFLUENCE FINANCIAL PARTNERS

TRUST BUT VERIFY

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